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Grace Patricia Rocha

Citigroup Global Markets Inc.

Hollywood, FL

Miami, FL

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Current Employers
Citigroup Global Markets Inc.

388 Greenwich Street, New York, NY 10013 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2016-12-05
  • FL RA
    APPROVED
    Since 2016-12-05

Branch Locations

Hollywood, FL • United States

Citi Private Bank 201 S. Biscayne Blvd, Fl 31 Ste 3100 & Fl 33 Ste 3, Miami, FL 33131 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Citigroup Miami FL 08/2016 Present
  • 08/2016 → Present
    Citigroup
    Miami, FL
Previous Registrations
  • 2010-04-12 → 2015-11-16
    Citigroup Global Markets Inc.
    Miami, FL
  • 2009-07-30 → 2010-03-05
    Capital Guardian Wealth Management, Llc
    Miami, FL
    Miami, FL
  • 2008-07-14 → 2009-03-23
    Stanford Group Company
    Miami, FL
    Miami, FL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-07-11
S63 Uniform Securities Agent State Law Examination 1997-12-18
  • S66 Uniform Combined State Law Examination
    2008-07-11
  • S63 Uniform Securities Agent State Law Examination
    1997-12-18
Other Names
  • Grace Patricia Sierra
  • Grace Patricia Sierra

View on SEC IAPD

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